Mike J. Shea

Cowen & Co. LLC is a SEC-registered broker/dealer headquartered in New York City. The firm was founded in 2004 and is a subsidiary of Cowen Holdings, Inc., ultimately owned by The Toronto-Dominion Bank (TSE: TD) in Canada. Cowen & Co. offers industry-focused investment banking for growth-oriented companies, domain knowledge-driven research and a sales and trading platform for institutional investors. Their institutional sales and trading business serves both equity and fixed-income clients. Sales and trading execution platform is structured around the following key verticals: (1) healthcare (2) technology, telecommunications and media (TMT) (3) REITs and financials (4) aerospace and defense (5) consumer and (6) alternative energy.

Citibank NA engages in the provision of banking services. It offers retail and commercial banking; credit cards; banking, capital markets, and advisory; markets and securities services; private banking; and treasury and trade solutions. The company was founded on June 16, 1812 and is headquartered in New York, NY.

The Ayco Co. LP (Goldman Sachs Ayco) is a SEC-registered investment advisor headquartered in Cohoes, New York. The firm was founded in 1971 by William Aydelotte and James Conway. They are a subsidiary of GS Ayco Holding LLC, owned by The Goldman Sachs Group, Inc. (NYSE: GS), a publicly traded bank and financial holding company. Goldman Sachs Ayco provides financial planning services nationally to individuals, institutional clients and charitable organizations.

LaBranche & Co., Inc. provides securities execution and brokerage services to institutional investors and professional traders. The company was founded by George M.L. LaBranche Jr. in 1924 and is headquartered in New York, NY.

NYFIX, Inc. provides electronic trading solutions. It provides value-added informational and analytic services and powerful tools for measuring execution quality. The company is headquartered in New York, NY.

Cantor Fitzgerald Securities (CFS) is a financial services provider headquartered in New York City and was founded in 1945. They are a subsidiary of Cantor Fitzgerald LP and their ultimate parent is CF Group Management, Inc. CFS offers an array of financial products and services in the equity and fixed-income capital markets. The firm provides sales and trading, investment banking, asset management, market commentary and market data.

Part of Van der Moolen Holding NV, Van der Moolen Specialists USA LLC operates a trading platform. The company is based in New York, NY.

Founded in 1992, Sunrise Securities Corp. is an investment bank and brokerage firm headquartered in New York City. The firm specializes in debt and equity financings. They provide a full range of investment banking and corporate financial advisory services for small- to mid-size public and privately-held companies. Sunrise Securities' research efforts focus on a variety of traditional industries and emerging growth sectors including: biotechnology, energy, financial services, information technology, manufacturing, medical devices, metals, natural resources, paper/packaging, pharmaceuticals, precious metals/mining, services, shipping, software, telecommunications and transportation. The Sunrise Sales and Trading team works with a broad group of investors and maintains portfolio-manager level relationships with some of the largest institutional investors in the world including: mutual funds, hedge funds, pension funds, insurance companies, banks and prop desks. Their investors are active in both the primary and secondary markets for debt and equity. Sunrise offers a suite of electronic trading solutions and execution tools including: (1) algorithmic trading including VWAP, Pairs Trading, etc. (2) list trading (3) basket trading (4) block placement and (5) trading of 144 and 144A securities.

JPMorgan Securities LLC (JPMS) is a securities brokerage firm headquartered in New York City. The firm was founded in 1985 and is a subsidiary of JPMorgan Broker-Dealer Holdings, Inc., ultimately held by JPMorgan Chase & Co., Inc. (NYSE: JPM). JPMS provides research on fixed income, credit, derivatives, emerging markets, foreign exchange, structured finance, technical analysis and bond indices. Their equity analysts cover equities throughout North America, EMEA, Asia/Pacific and the emerging markets. The firm's fixed income team formulates trading and portfolio recommendations for investors in global bonds and other fixed-income markets based on valuations, analytics and market dynamics.

AXES LLC provides financial brokerage services. It provides derivatives exchange, equity research, and international security services. The company is headquartered in New York, NY

Founded in 1986, Merriman Capital, Inc. is an SEC-registered broker/dealer and investment banking firm headquartered in San Francisco. The firm is a subsidiary of Merriman Holdings, Inc. (NASDAQ: MERR), a financial services firm that focuses on fast-growing companies and their institutional investors. Merriman provides advisory and investment banking, equity research, institutional services, corporate services and venture services primarily to corporate clients. Merriman Capital provides research, brokerage and trading services primarily to institutional clients. The firm offers a full range of specialized and integrated services including: equity research, specialized trade execution, equity capital markets, corporate finance, mergers and acquisitions, sales and trading, market making, corporate and venture services, restructurings and strategic advisory services. Merriman Capital employs bottom-up, fundamental analysis of small-cap companies in select industries including clean technology, healthcare, technology and consumer/Internet/media. The firm also has expertise in emerging markets, with emphasis on emerging markets in China. Merriman Capital is known to engage in shareholder activist investment strategies. Merriman Capital is a member of the NASD, the SIPC and FINRA. The firm serves as an introducing broker/dealer for Pershing LLC. They do not hold or maintain funds or securities or provide clearing services for other broker/dealers.

Channel Capital Group, Inc. owns and operates a web-site for providing hedge fund information and performance data. It provides hedge fund news and data for hedge fund managers and institutional investors. The company was founded in 1997 and is headquartered in New York City, NY.

Advanced Financial Applications, Inc. provides integrated order processing solutions to buy and sell-side institutions. It helps hedge funds, asset management firms, broker dealers, and family offices grow their businesses by creating and delivering trading solutions to streamline the trade workflow. The company was founded in 1999 and is headquartered in New York, NY.

Taylor Rafferty Associates, Inc. provides consulting services in investor relations and financial communications. The private company is based in New York, NY and has subsidiaries in Hong Kong and United Kingdom. The company was founded by Brian Joseph Rafferty. Brian Joseph Rafferty has been the CEO since incorporation. Taylor Rafferty Associates was acquired by Taylor Rafferty Associates /Management/ from P1 Holdings LLC on March 27, 2014.

Founded in 2009 by Antonio Cacorino and Fredrick Chapey, StormHarbour Securities LP is an independent full-service broker/dealer headquartered in New York City with additional offices in London, Singapore, Hong Kong and Geneva. The firm is a subsidiary of StormHarbour Partners LP. StormHarbour Securities focuses on distribution, client solutions and capital markets and has extensive experience in the fixed-income credit and alternatives markets. Their services include execution, sourcing/distribution, primary and secondary, reverse inquiry and buy-backs and full asset/capital structure coverage. StormHarbour Securities' clients include hedge funds/other asset managers, banks/insurance companies, pensions. endowments, SWFs, GSEs and other international financial groups. StormHarbour Securities' credit products include: investment grade corporates, high yield, distressed, convertibles and emerging markets. Their securitized products include: ABS (vanilla and exotic), RMBS (prime, alt-A and sub-prime), CMBS, CDOs, CLOs and synthetic structures.

Part of IBG Holdings LLC, Interactive Brokers LLC is a brokerage company. The company is based in Greenwich, CT. The CEO of the company is Milan Galik.

Founded in 1983, FBN Securities, Inc. is a full-service institutional brokerage firm that provides clients with equity execution, comprehensive trading, independent research and soft dollar services. As an independent firm with no proprietary trading conflicts, they strive to create true partnerships with their clients, allowing asset managers to maximize their potential while significantly reducing transaction costs. The firm is located in New York City

Silvercrest Asset Management Group LLC (Silvercrest) is a SEC-registered investment advisor and wealth management firm headquartered in New York City. The firm was founded by Martin Jaffe in 2001 and is a wholly-owned subsidiary of Silvercrest LP. Silvercrest provides asset management and family office services to families and select institutional investors.